Stock Broker

This query is : Resolved 

07 June 2011 Does a Stock Broker, obligatorily required to appoint a Compliance Officer? If yes, under what conditions?

21 June 2011
Yes, every stock broker is required to appoint a compliance officer who shall be responsible for monitoring the compliance of the act ,rules and regulation notification and guidelines issued by SEBI or central government and redressed of investors grievances



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